INVESTOR'S QUESTIONNAIREIMPORTANT: PLEASE
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An
investor contemplating legal action and an attorney evaluating the
investor's
claim have a common goal: setting all the facts before the attorney
in an organized
fashion so that the attorney can give his or her best advice. The
following guide
organizes the information that will typically be relevant to a
securities claim by an
investor. All information is subject to attorney-client privilege
since, even though we do
not have an attorney-client relationship, you are considering such
a relationship. It is
critical that information be complete and candid. My opinion and
advice depend on the
facts you describe, even difficult or unflattering facts, just as
your doctor's diagnosis and
recommendations depend on the symptoms you describe.

3. Name and address of the broker-dealer firm, investment adviser, company
and/or individual against whom the complaint is made.

4. Name and capacity of any individuals with the broker-dealer, investment
adviser, corporation, limited partnership, etc. with whom the investor
has dealt or who
have relevant knowledge, e.g., the registered representative handling
the account, a
branch manager with whom the investor spoke, the acquaintance who
persuaded the
investor to invest, the friend who gave advice to the investor, etc.

5. Your investment and litigation history. Every financial institution
where you
have had securities or commodities accounts in the past and what types
of investments
you have made in the past. A description of your degree of knowledge
about finance
and business. This answer needs to be complete.
These areas will be the major focus
of the broker's discovery efforts in any arbitration.

6.
Any past legal actions or written complaints made in connection with
investments or other financial matters.

7.
Description of the security which is the basis of the complaint, e.g.,
common
stock of XYZ company, a 20 year church bond, an oil or gas interest or
purchase of an
interest in an orange grove.

8. The amount of the investment, both in dollars and in shares if
applicable, and
the amount of the loss you believe you sustained. It is helpful to
describe how you
calculated your loss.

9.
When the investment was made, when the events causing the loss
occurred,
and when you learned of any adverse information. This is critical for
analyzing the
applicability of statutes of limitation.

10. The source of the securities, if you know and if it is significant.
E.g., an
underwriting of new shares in a public offering, a purchase from a
company insider in a
private transaction, purchase through a broker on NASDAQ or a stock
exchange.

11.
The specific things which the potential defendants said or omitted to
say
which the investor believes were false or misleading or the specific
actions or inactions
by the defendants which you believe injured you. Examples follow:

The account executive at the broker said that the stock of XYZ
corporation,
then trading at 12, was guaranteed to go to 30 within the year.

The investor placed a market order to sell the stock with the
broker. The
broker sat on the order for 4 hours before executing while the price of
the
stock declined 2-1/8.

The president of the oil and gas driller falsely said that the
property had
proven reserves in a certain amount.

The investment advisor stated that ABC company was the next
Microsoft,
a company with proven management and a brilliant new product, omitting
to note that the company's owner was his brother-in-law whose only
prior
experience was working in a Dairy Queen.

12.
What instructions you gave to the broker or investment advisor both
orally
and in writing as to investment goals and the types of investments you
wanted to make,
both on the new account form and otherwise.

13.
Describe in detail any complaints you have made about the events in
question to the broker or any agency, including copies of any letters
or e-mails. Have
you consulted any other attorneys on this matter ?

14.
Any other facts which you believe are important and throw light on what
occurred.

15.
What do you think the broker will say at trial ? Put yourself in
his or her shoes.

A
very useful way to organize the facts, particularly the history of what
was said
and what occurred, is organize it in chronological fashion. If there
has been a long
history, the investor may not remember exactly how many conversations
occurred or
what was said in each conversation. It is still important for the
investor to recall as
much as is possible and to set it forth in sequential fashion. An
example of a chronology
follows:

time

event

early July, 1999

Felix Krull,
a salesman with Superslick Securities, a Fort Lauderdale
broker, cold calls. He says that every now and then exciting
investment opportunities come to their attention and asks if he can
call me if such a deal comes along.

July 16, 1999

Felix calls again, says that he has just learned that Cosmic Cola
Company has a revolutionary new product, a self-chilling can: pop
the top and it chills itself. Also, Cosmic has an agreement in
principal with the Chinese government to receive exclusive
distribution rights for soda pop in China. Can he put me down for
$50,000 in stock ? I say that I'd like to think it over. Felix says
that
"the train is leaving the station." The stock is now trading at 12-1/2,
and there will never be another opportunity to buy at this price. I
place an order for $50,000 of stock.

Aug. 1999

Felix
calls 3 or 4 more times, asking me to increase my position.
The stock is now trading at 15 but Felix believes that it will "go to
the
moon" after the distribution agreement with China is finalized. In
one of the conversations, I ask Felix to send me literature on the
company, which he says he'll do, but I never receive it.

Nov. 1999

I see in the newspaper that the price of Cosmic has declined to 10-3/8. I
call Felix and say that I'm feeling nervous and want to sell.
Felix gets very angry and says that that would be the absolutely
worst thing that I could do. He says that there has been a delay in
announcing the Chinese distribution agreement but that he has
confidential information that it will happen soon.

late Dec. 1999

The stock is now trading at 8-1/4. I call to sell. Felix is not there but
I talk with Roberta Vesco, the office manager. Roberta argues with
me for a half an hour not to sell the stock until I finally agree.

Feb. 18, 2000

The stock is now trading at 5-1/2. I finally obtain Cosmic Cola's
SEC filings from EDGAR, the SEC's database on its website.

late Feb. 2000

After
reviewing the SEC filings, I see that Cosmic Cola had an
underwriting by Superslick Securities in early July 1999. The
prospectus says that there is only a prototype of the self-chilling can
and that there are uncertainties whether the commercial
manufacture of the can is possible. Also, Cosmic Cola is involved in
a patent dispute with Galactic Cola over the can. There is nothing in
the prospectus about foreign distribution except that Cosmic has an
agreement with Pipe Dream Distributors in Salt Lake City, Utah, that
Pipe Dream will use best efforts to distribute Cosmic Cola in China.

March 4, 2000

I call Felix and confront him with what I've learned from the
prospectus and company reports. He denies that he ever claimed
that an agreement in principle for exclusive distribution in China had
been reached and says that he told me that all securities had
inherent risks.